A Guide to GEM Listings in Hong Kong, 2nd edition, provides a comprehensive guide for practitioners, academics, executives and other individuals involved in the IPO listing process on the GEM. Both experienced practitioners and novices can benefit from this book. The text is written in a clear and easy to understand manner and it nicely tracks the GEM Listing Rules in its step-by-step presentation to avoid confusion. It includes practical advice, templates of relevant legal documents and draws on the real-world experiences of practitioners in the listing process. The real-world guidance it provides will allow practitioners and participants to avoid many mistakes, obstacles and potential problems that are endemic in the listing process while outlining the appropriate process necessary for a successful listing. Using the book as part of a comprehensive IPO process should save time and money and lead to a more successful IPO.


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Chapter 1 Introduction to GEM

Chapter 2 Laws and Regulations Relating to GEM Listings

Chapter 3 GEM: Entry Requirements

Chapter 4 GEM Post-Listing Continuing Obligations

Chapter 5 IPO Process for GEM Listing

Chapter 6 GEM IPO Team/Working Parties

Chapter 7 Prospectus for GEM Listing

Chapter 8 Transfer of Listing from GEM to the Main Board

Chapter 9 IPO Documentation for GEM Listing


THE GUIDE will help readers navigate through a matrix of Hong Kong laws, listing rules, practice guides, listing decisions and general practice. It is organised thematically for ease of reference including; rationale for listing on GEM listing, legal requirements and listing processes and drafting guidelines for preparing documents to be submitted to the Hong Kong regulatory bodies. THE GUIDE addresses frequently asked questions relating to GEM listing with a focus on legal and regulatory requirements.

It is user friendly, providing key questions and summary tables at the end of each relevant chapter. The presentation of facts is illustrated with charts, tables and cases, making for easy reading and referencing.


Simon Wu

The author holds a PhD in law from the Centre for Commercial Studies, Queen Mary, University of London, a first class LLB honours degree and a postgraduate certificate in law (awarded with credit) from the City University of Hong Kong. He has previously worked at Baker & McKenzie, Hong Kong, and currently is a consultant in Edward Lau, Wong & Lou specialising in IPO and commercial law.

He has held the position of Visiting Fellow at The School of Law at the City University of Hong Kong for many years and is a member of the Hong Kong Law Society.

Dr. Simon Wu is the author of A Guide to H Share Listings published by Wolters Kluwer in 2013. He is also a principal contributor to The Hong Kong Encyclopaedia of Forms and Precedents, Vol 3: Companies – General and The Hong Kong Encyclopaedia of Forms and Precedents, Vol 4: Companies – Formation and Regulation edited by Rt. Hon Lord Millett published by LexisNexis/Butterworth in 2015. He is also a contributor to the legal database Lexis Practical Guidance responsible for the corporate section on GEM.